Exchange Commission definition

Exchange Commission means the Agricultural Futures Exchange Commission under the law on agricultural futures trading;
Sample 1Sample 2
Exchange Commission. (the "Commission") thereunder, and has been filed with the Commission under the Act and one or more amendments to such registration statement may have been so filed. After the execution of this Agreement, the Company will file with the Commission either (i) if such registration statement, as it may have been amended, has been declared by the Commission to be effective under the Act, a prospectus in the form most recently included in an amendment to such registration statement (or, if no such amendment shall have been filed, in such registration statement), with such changes or insertions as are required by Rule 430A under the Act or permitted by Rule 424(b) under the Act and as have been provided to and approved by the Representative prior to the execution of this Agreement, or (ii) if such registration statement, as it may have been amended, has not been declared by the Commission to be effective under the Act, an amendment to such registration statement, including a form of prospectus, a copy of which amendment has been furnished to and approved by the Representative prior to the execution of this Agreement. As used in this Agreement, the term "Registration Statement" means such registration statement, as amended at the time when it was or is declared effective, including all financial schedules and exhibits thereto and including any information omitted therefrom pursuant to Rule 430A under the Act and included in the Prospectus (as hereinafter defined); the term "Preliminary Prospectus" means each prospectus subject to completion filed with such registration statement or any amendment thereto (including the prospectus subject to completion, if any, included in the Registration Statement or any amendment thereto at the time it was or is declared effective); and the term "Prospectus" means the prospectus first filed with the Commission pursuant to Rule 424(b) under the Act, or, if no prospectus is required to be filed pursuant to said Rule 424(b), such term means the prospectus included in the Registration Statement; except that if such registration statement or prospectus is amended or such prospectus is supplemented, after the effective date of such registration statement and prior to the Option Closing Date (as hereinafter defined), the terms "Registration Statement" and "Prospectus" shall include such registration statement and prospectus as so amended, and the term "Prospectus" shall include the prospectus as so supplemented, or both, as the case may...
Sample 1
Exchange Commission. (the "Commission"), in accordance with the Securities Act of 1933, as amended, and the rules and regulations of the Commission promulgated thereunder (the "Rules and Regulations", and together with said Act, the "Act"), a registration statement on Form SB-2 (File No. ___________) and may have filed one or more amendments thereto, including in such registration statement and in certain amendments thereto a related preliminary prospectus for the registration under the Act of the Shares. In addition, subject to the provisions of Section 4(e) hereof, the Company has filed or will promptly file a further amendment to such registration statement prior to the effectiveness of such registration statement, unless an amendment is not required pursuant to Rule 430A of the Rules and Regulations. As used in this Agreement, the term "Registration Statement" means such registration statement, including the prospectus, financial statements and schedules thereto, exhibits and other documents filed as part thereof, as amended when, and in the form in which, it is declared effective by the Commission, and, in the event any post-effective amendment thereto is filed thereafter and on or before the Closing Date (as hereinafter defined), shall also mean (from and after the date such post-effective amendment is effective under the Act) such registration statement as so amended, provided that such Registration Statement, at the time it becomes effective, may omit such information as is permitted to be omitted from the Registration Statement when it becomes effective pursuant to Rule 430A of the Rules and Regulations, which information ("Rule 430 Information") shall be deemed to be included in such Registration Statement when a final prospectus is filed with the Commission in accordance with Rules 430A and 424(b)(1) or (4) of the Rules and Regulations; the term "Preliminary Prospectus" means each prospectus included in the Registration Statement, or any amendments thereto, before it becomes effective under the Act, the form of prospectus omitting Rule 430A Information included in the Registration Statement when it becomes effective, if applicable (the "Rule 430A Prospectus"), and any prospectus filed by the Company with your consent pursuant to Rule 424(a) of the Regulations; the term "Prospectus" means the final prospectus included as part of the Registration Statement, except that (i) if any
Sample 1

Examples of Exchange Commission in a sentence

  • A signed original of this written statement required by Section 906 has been provided to the Company and will be retained by the Company and furnished to the Securities and Exchange Commission or its staff upon request.

  • You are hereby authorized to file a copy of this letter with the Securities and Exchange Commission.

  • The confidential redacted portion has been omitted and filed separately with the Securities and Exchange Commission.

  • In performing this assessment, Management used the criteria set forth by the Securities and Exchange Commission in paragraph (d) of Item 1122 of Regulation AB.

  • A complete version of this exhibit has been filed separately with the Securities and Exchange Commission.

  • Should such Issuer become subject to the periodic reporting or other informational requirements under the Securities Exchange Act of 1934, it will be required in accordance therewith to file reports and other information with the U.S. Securities and Exchange Commission.

  • This Certification has not been, and shall not be deemed, “filed” with the Securities and Exchange Commission.

  • A complete copy of this document has been filed separately with the Securities and Exchange Commission.

  • If a sales charge is in effect, Distributors shall have the right subject to such rules or regulations of the Securities and Exchange Commission as may then be in effect pursuant to Section 22 of the Investment Company Act of 1940 to pay a portion of the sales charge to dealers who have sold shares of the Issuer.

  • A signed original of this written statement required by Section 906, or other document authenticating, acknowledging, or otherwise adopting the signature that appears in typed form within the electronic version of this written statement required by Section 906, has been provided to the Company and will be retained by the Company and furnished to the Securities and Exchange Commission or its staff upon request.


More Definitions of Exchange Commission

Exchange Commission. (the "SEC"), relating to shares of beneficial interest of the Trust, without par value (the "Shares");
Sample 1
Exchange Commission. (the "SEC") of a proxy statement in connection with the Shareholders' Meeting (such proxy statement, including any preliminary version thereof, in either case, as amended, modified or supplemented from time to time, the "Proxy Statement"), (B) the filing with the SEC of a Rule 13e-3 Transaction Statement on Schedule 13E-3 (the "Schedule 13E-3") under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), (C) state securities or "blue sky" Laws, (D) any other filings or reports required under the Exchange Act or the rules and regulations promulgated thereunder in connection with the transactions contemplated by this Agreement, (E) the filing and recordation of appropriate merger or other documents under the IBCA and ILLCA, (F) compliance with the rules and regulations of the Over-the-Counter Bulletin Board (the "OTCBB"), (G) antitrust or other competition Laws, and (H) such consents, approvals, orders, authorizations, registrations, declarations and filings with any Governmental Entity the failure of which to make or obtain would not reasonably be expected to have a Material Adverse Effect on the Company or prevent the consummation of the Merger by the Outside Date.
Sample 1
Exchange Commission. (the "Commission") a registration statement (the "Registration Statement") in order to register the Shares with the Commission for resale by Purchaser from time to time through underwriters, agents or otherwise, in negotiated or market transactions or through the automated quotation system of the Nasdaq or the facilities of any national securities exchange on which the Company's Common Stock is then traded or in privately negotiated transactions;
Sample 1
Exchange Commission. (the "SEC") or by any securities association registered under the Securities Exchange Act of 1934.
Sample 1
Exchange Commission. (herein called the "SEC") and the equivalent ruling or letter pursuant to applicable state law in form satisfactory to the Company covering such transfer, and the Company may withhold transfer, registration and delivery of such securities until one of the three conditions set forth in this paragraph 7(b) shall have been met.
Sample 1
Exchange Commission means the Securities and Exchange Commission ------------------- which oversees compliance with the Exchange Act.
Sample 1

Related to Exchange Commission

  • Securities and Exchange Commission means the United States Securities and Exchange Commission.

  • SEC means the Securities and Exchange Commission.

  • Commission means the Securities and Exchange Commission.

  • Exchange Contract means a contract for a Commodity approved by SFC and HKFE for trading on one of the markets from time to time established and operated by HKFE which may result in a Futures Contract and/or an Option Contract;

  • the Commission means the Charity Commission for England and Wales;

  • Central Commission means the Central Electricity Regulatory Commission referred to in sub-section (1) of section 76 of the Act;

  • Diocesan Schools Commission means the education service provided by the diocese, which may also be known, or referred to, as the Diocesan Education Service.

  • Tax Commission means the Oklahoma Tax Commission;

  • Securities Commission means the applicable securities commission or regulatory authority in each of the Qualifying Jurisdictions;

  • State Information Commission means the State Information Commission constituted under sub-section (1) of section 15;

  • Election Commission means the Election Commission appointed by the President under article 324;

  • Nuclear Regulatory Commission (NRC) means the U.S. Nuclear Regulatory Commission or its duly authorized representatives.

  • Public Service Commission means the Public Service Commission constituted under this Constitution;

  • City Commission means the legislative body of the City of Miami.

  • Securities Commissions means collectively, the applicable securities commission or securities regulatory authority in each of the Qualifying Jurisdictions;

  • Railways Commission means the Western Australian Government Railways Commission established pursuant to the Government Railways Xxx 0000;

  • Change Control means the process set out in Section 2.6.

  • Form 10 means the registration statement on Form 10 filed by SpinCo with the Commission to effect the registration of SpinCo Common Stock pursuant to the Exchange Act in connection with the Distribution, as such registration statement may be amended or supplemented from time to time.

  • Rule 482 Statement means a document that contains the number of Securities issued, the offering price and any other items dependent upon the offering price, prepared in accordance with the provisions of Rule 482 of the 1933 Act, a copy of which shall be attached as Schedule D hereto. “Statutory Prospectus” as of any time means the prospectus relating to the Securities that is included in the Registration Statement immediately prior to that time, including any document incorporated by reference therein. Each preliminary prospectus and the prospectus filed as part of the effective Registration Statement or as part of any amendment thereto, or filed pursuant to Rule 497 under the 1933 Act, complied when so filed in all material respects with the Rules and Regulations and each preliminary prospectus and the Prospectus delivered to the Underwriters for use in connection with this offering was identical to the electronically transmitted copies thereof filed with the Commission pursuant to XXXXX, except to the extent permitted by Regulation S-T. If a Rule 462(b) Registration Statement is required in connection with the offering and sale of the Securities, the Fund has complied or will comply with the requirements of Rule 111 under the 1933 Act Rules and Regulations and Rule 3a of the Commission’s Internal and Other Procedures (“Rule 3a”) relating to the payment of filing fees thereof. The Fund, subject to the Registration Statement having been declared effective and the filing of the Prospectus under Rule 497, has taken all required action under the 1933 Act, the 1940 Act, the Securities and Exchange Act of 1934, as amended (the “1934 Act”) and the Rules and Regulations to make the public offering and consummate the sale of the Securities as contemplated by this Agreement.

  • State Commission means any state regulatory agency having jurisdiction over retail electricity sales in any State in the PJM Region.

  • Public data means the objective, factual data on which policy decisions are based and on which public services are assessed, or which is collected or generated in the course of public service delivery.

  • Planning Commission means the City’s Planning Commission.

  • Commission Guidance means (i) any publicly available written guidance or rule of general applicability of the Securities and Exchange Commission staff or (ii) written comments, requirements or requests of the Securities and Exchange Commission staff to the Company in connection with the review of a Registration Statement.

  • Federal Energy Regulatory Commission or "FERC" means the

  • Joint Commission means the accrediting body whose standards are referred to in these Bylaws.

  • Public Key means the key of a key pair used to verify a digital signature and listed in the Digital Signature Certificate;